1. Overview of the Justice Center Manhattan Developmental Disabilities Council October 10, 2013

2. Vision People with special needs shall be protected from abuse, neglect and mistreatment. This will be accomplished by assuring that the state maintains the nation’s highest standards of health, safety and dignity; and by supporting the dedicated men and women who provide services. 2

3. Justice Center overview Incident review Provider and staff requirements Advocacy and policy Advisory Council overview Implementation update Questions 3 Agenda

4. Justice Center Overview 4

5. Key Drivers That Led to the Justice Center Inconsistent laws, rules, regulations, requirements and standards across service systems No way to prevent staff who committed acts of abuse from getting another job working with people with special needs Limited capacity for statewide oversight No ability to identify and predict future areas of risk 5

6. Key Elements of the Protection of People with Special Needs Act Creates the Justice Center Creates consistent definitions of abuse and neglect Provides for proportional and progressive discipline including termination, for custodians responsible for abuse or neglect Ensures that all allegations are investigated Strengthens penal laws Consolidates background check functions Maintains data on all allegations and investigations to support trend analysis Promotes transparency 6

7. State Oversight Agency Overview Certain facilities or programs that are operated, licensed or certified by: OPWDD State-operated and certified/licensed providers for individuals with developmental disabilities. OMH State –operated and certified/licensed providers for people with mental illness. OASAS State-operated and certified/licensed providers of substance abuse services. DOH Overnight summer camps for children with developmental disabilities and adult homes with 80 or more beds and 25% or more of the residents have a serious mental illness. OCFS State-operated and certified/licensed residential programs for children and youth including juvenile justice detention facilities, group homes and Residential Treatment Centers. SED Residential schools serving students with disabilities, including schools outside of NYS. 7

8. Advocate on behalf of people with special needs and provide oversight of quality of care Operate a centralized, statewide 24- hour hotline and incident reporting system staffed by trained personnel Maintain a state-wide register that contains the names of individuals found responsible for egregious or repeated acts of abuse or neglect Centralize and perform functions relating to criminal history background checks Develop and implement consistent standards for investigative activities including staff qualifications and training, and training for mandated reporters Analyze abuse and neglect patterns and trends to prevent future occurrences 8 Primary Components of the Justice Center

9. Incident Review 9

10. The Justice Center statute requires that mandated reporters report incidents to the Justice Center Reportable incidents can consist of either: Abuse and neglect Significant incidents State Oversight Agencies have issued regulations defining incidents and reporting requirements, which are available on their websites Types of Reportable Incidents 10

11. Abuse / Neglect CATEGORIESDEFINITONS Physical Abuse Intentional contact, (hitting, kicking, shoving, etc.) corporal punishment, injury which cannot be explained and is suspicious due to extent or location, the number of injuries at one time, or the frequency over time. Psychological AbuseTaunting, name calling, threatening words / gestures Sexual Abuse Inappropriate touching, indecent exposure, sexual assault, taking or distributing sexually explicit pictures; voyeurism or other sexual exploitation Neglect Failure to provide supervision, or adequate food, clothing, shelter, health care, or access to an educational entitlement Deliberate misuse of restraint or seclusion Use of these interventions with excessive force, as a punishment, or for the convenience of staff Controlled SubstancesUsing, administering or providing any controlled substance contrary to law Aversive conditioning Unpleasant physical stimulus used to modify behavior without person-specific legal authorization Obstruction Interfering with the discovery, reporting or investigation of abuse / neglect, falsifying records, intentionally making false statements 11

12. Significant Incidents The Act defines a significant incident as an incident that is not abuse or neglect, but has the potential to result in harm to the health, safety or welfare of a person receiving services. Use of restraint when it is avoidable, involves a banned technique, or is used by inadequately trained staff Unauthorized seclusion or time-out Harmful interactions between people receiving services that could reasonably be prevented Administration of a medication contrary to a medical order that causes an adverse impact 12

13. Licensed programs must report within 24 hours after discovery Call Death Reporting hotline: 1-855-373-2124 Forms and instructions on Justice Center website: www.justicecenter.ny.gov 13 Death Reporting

14. A death may be a reportable incident if: The person was enrolled in or receiving services from the facility or program at the time of the death and death was the result of a abuse, neglect or a significant incident; It was an apparent homicide, suicide, or unexplained or accidental cause; It was unrelated to the natural course of illness or disease; or It was related to the lack of treatment provided in accordance with generally accepted medical standards. If any of the above is true, the death must be reported to the Justice Center’s VPCR and Death Reporting hotline, as well as to the State Oversight Agency. 14 Death Reporting (cont.)

15. Incident Review Process OVERSIGHT & MONITORING Web form Hotline INTAKE ABUSE/ NEGLECT INVESTIGATION ADJUDICATION SIGNIFICANT INCIDENT REVIEW MAKE DETERMINATION Add/remove from SEL PROSECUTIONDISCIPLINESTAFF EXCLUSION LIST. INCIDENT ASSIGNMENT Financial Death Criminal Non-Criminal START 15

16. 16 Provider and Staff Requirements

17. Employees, volunteers, directors and operators of covered facilities and programs who have regular and substantial contact with the people receiving services. Examples may include: Direct support employees Administrative staff Board members Volunteers Janitorial staff The employer must determine, based upon their knowledge of the type and frequency of contact, who has regular and substantial contact with people receiving services. 17 regular and substantial contact Mandated Reporters: Custodians

18. Mandated Reporters: Human Services Professionals Physicians (including specialists) Registered physician assistants Surgeons Medical examiners or coroners Dentists and dental hygienists Registered nurses, licensed practical nurses or nurse practitioners Social workers Emergency medical technicians Licensed therapists Hospital personnel Christian Science practitioners School officials Child care or foster care workers Alcohol and substance abuse credentialed personnel Peace officers Police officers, District Attorneys, investigators or other law enforcement officials 18

19. Allegations of reportable incidents shall be reported to the Justice Center upon discovery whenever: The mandated reporter witnesses a suspected reportable incident; and Another person, including the person with special needs, presents reasonable cause to suspect that the person with special needs has been subjected to a reportable incident. A report to the Justice Center shall include the name, title and contact information of every person known to the mandated reporter to have the same information as the mandated reporter concerning the reportable incident. 19 Expectations of Mandated Reporters

20. Justice Center Code of Conduct The Justice Center adopted a Code of Conduct for all custodians, defined as anyone who has regular and substantial contact with individuals receiving services from an entity subject to the Justice Center’s jurisdiction. The Code of Conduct augments existing codes at State Oversight Agencies (e.g., OASAS, OMH). Governs the conduct of custodians in areas of safety, dignity, respect, community inclusion and protection. Custodians are required to sign a document acknowledging they have read and understand the Code, promise to abide by it, and also pledge to report incidents involving individuals receiving services. 20 Justice Center Obligation SOA Codes Code Provisions Code Process

21. All OMH and OASAS licensed and funded programs, regardless of the age served must conduct a review of: Staff Exclusion List (SEL) Criminal History Background Check (CBC) Statewide Central Register of Child Abuse and Maltreatment (SCR) 21 Pre-Employment Background Checks

22. Staff Exclusion List Providers must check to see if staff are on the Staff Exclusion List (SEL) BEFORE conducting a criminal background check or checking the State Central Register of Child Abuse (SCR). Key Elements of the SEL A statewide register that will contain the names of staff found responsible for serious or repeated acts of abuse or neglect Any job applicant on the SEL can not be hired There is NO charge for the SEL Check 22

23. Required by law Members of the governing body of the facility, including some members of the following: 23 Incident Review Committee Direct support staff; Licensed health care practitioners; Service recipients and Representatives of family, consumers and other advocacy organizations, but not the director of the facility or provider agency. Peers and families

24. The State Oversight Agency may: Waive the requirement to have an IRC if there is a compelling need (e.g. a small family-based treatment setting) Allow an agency to borrow or share members with other agencies, or to function, on a temporary basis, without a particular type of member, as long as the agency is making diligent efforts to recruit an individual to fill that role. The statutory requirement for committee membership can not be waived, unless the agency is unable to recruit all of the members who are required to participate. 24 Incident Review Committee (cont.)

25. Providers must notify the person receiving services and/or their representative when an allegation of abuse or neglect is reported to the Justice Center. 25 Abuse and Neglect: Required Notification

26. New Disclosure Requirements for Providers Records of facilities or provider agencies pertaining to abuse or neglect must be available to the public Justice Center will receive requests in writing, and review and coordinate the release of such records from the appropriate facilities or provider agencies Proposed regulations, which provide for the prompt response to such requests, are available on the Justice Center website Facilities or provider agencies must cooperate with the Justice Center and provide records that the Justice Center determines are subject to disclosure 26

27. Summary: Provider and Staff Requirements Report all incidents to the Justice Center Carry out investigations of abuse and neglect or significant incidents delegated to providers by State Oversight Agencies Adhere to the Justice Center’s Code of Conduct Check Staff Exclusion List for all potential job applicants and perform other required background checks Comply with new disclosure and notification requirements related to abuse / neglect Maintain records of staff training and Justice Center Code of Conduct attestations Compliance with Justice Center policies and procedures may be linked to provider certification and licensure, as appropriate. 27

28. Advocacy and Policy 28

29. Advocacy Services Information and Assistance Short-Term Case Advocacy Technology Related Assistance for Individuals with Disabilities (TRAID) Surrogate Decision-Making Committee (SDMC) Program Ombudsperson for Individuals with Developmental Disabilities Program Adult Homes Advocacy Program Interagency Coordinating Council for Services to Persons Who are Deaf, Deaf-Blind, or Hard of Hearing Psychiatric Correctional Advisory Committee 29

30. Systemic Advocacy and Policy Identify trends and issues related to service delivery, policies, procedures or practices that present barriers to individuals with disabilities and work to remove such barriers Advise and assist the Governor, Legislature and public in the development and implementation of state policies regarding people with special needs and disabilities Conduct or cause to be conducted studies of the needs of people with special needs and disabilities Monitor quality of mental health care in NYS correctional facilities Reporting and analytics 30

31. Advisory Council Overview 31

32. Advisory Council Overview Provides guidance to the Justice Center in the development of policies, programs and regulations Comprised of 30 members including service providers, people who have or are currently receiving services, family members and advocates 32 67% individual/family receives services At least one-half of the members must be individuals or parents or relatives of individuals who are or have received services from programs within the Justice Center’s jurisdiction

33. Thank you www.justicecenter.ny.gov Report abuse or neglect:1-855-373-2122 Information & Referral:1-800-624-4143 General information line:1-518-549-0200 33